HomeMy WebLinkAbout82-505 PetersMailing Address:
STATE ETHICS COMMISSION
P.O. BOX 1179
HARRISBURG, PA 17108
TELEPHONE: (717) 783 -1610
January 22, 1982
ADVICE OF COUNSEL
Mr. Donald J. Peters 82 -505
1520 Wandering Way
Harrisburg, PA 17110
RE: Section 3 Restricted Activities - Former Employee - DER
Dear Mr. Peters:
This letter responds to your December 22, 1981 request
for advice from the State Ethics Commission.
Issue: Do your plans regarding consultation and represen-
tation present any actual or potential conflict of interest
for you, as a former employee in the Department of Environ-
mental Resources, in violation of the Ethics Act?
Facts: Prior to January 5, 1982, you worked for the Common-
wealth's Department of Environmental Resources (DER), Bureau
of Water Quality Management in the Division of Municipal
Facilities and Grants. Your title was Administrative
Officer 2. You were chief of the Project Administration
Unit in the Administrative Services Section.
As a unit chief, you established policy and procedures
for the unit, and organized and directed subordinates in
executing projects. Specifically, you directed the following
activities:
1. Monitoring progress of federal sewage construction
grant projects.
2. Processing state grant applications and capitol
grant appropriations for construction of state
sewage and water utilities.
State Ethics Commission • 308 Finance Building • Harrisburg, Pennsylvania
Mr. Donald J. Peters
January 22, 1982
Page 2
3. Providing guidance, training, etc. to the Bureau's
regional staff, regarding cost exclusions, charge
systems, ordinances, architectural /engineering
contracts and force account work.
4. Maintaining accurate, current accounting systems.
5. Reviewing project status and Bureau reports, and
preparing consolidated reports for management.
6. Reviewing and updating administrative forms for
construction grant programs.
7. Replying to inquiries from Bureau staff members,
grant applicants and their constultants, soli-
citors, and the federal EPA.
8. Reviewing and commenting on proposed amendments to
federal and state water pollution control acts,
rules, regulations and policy papers.
You performed you job with considerable autonomy and
exercise independent judgment in that performance. A staff
supervisor reviewed your performance for effectiveness of
program activities. Finally, you evaluated employee per-
formance, prepared evaluation reports, planned training
needs, resolved employee grievances and complaints, and
approved selection of staff personnel.
On January 4, 1982, you terminated your employment with
DER. Your tentative subsequent employment plans include
work as a consultant on several grant programs. You intend
to apply knowledge you acquired as an Administrative Officer
2 with DER.
Between January 4, 1982 and January 4, 1983 you plan to
give advice as a consultant but not to affix your signature
to any correspondence addressed to DER regarding grants made
or about to be awarded since January 4, 1982. After January
4, 1983, you do plan to sign this type of correspondence
with DER. You also plan thereafter to represent clients
before your former employer, DER.
Discussion: While working as an Administrative Officer 2
for DER, you were a public employee for purposes of the
Ethics Act. Within the Bureau of Water Quality Management,
as chief of a project administration unit, you recommended
official action regarding the administration and monitoring
Mr. Donald J. Peters
January 22, 1982
Page 3
of state and federal grants. Also, you were the immediate
supervisor of persons who perform their duties in the field
without on -site supervision. 51 Pa. Code X1.1. Thus, you
were a public employee as described by the regulations of
the Ethics Commission and by Section 2 of the Ethics Act.
You are now, therefore, subject to certain limitations
and restrictions stipulated in Sections 3(e) of the Ethics
Act. That is, you may not represent a person or firm, with
or without compensation, on any matter before the govern-
mental body with which you have been associated for one year
after you leave that body. 65 P.S. 403(e). In your situa-
tion, you may not undertake the representation of any person
before the Bureau of Water Quality Management - the govern-
mental body with which you were associated - before January
4, 1983. Thus, you have correctly observed that you may
give advice to clients in the year following your final day
of employment so long as this advice does not involve the
the use of confidential information. However, you may not
sign and your name may not appear on correspondence including
bids submissions, grant proposals, etc. addressed to nor
represent persons before the Bureau of Water Quality Manage-
ment until January 4, 1983. Kilareski, 80 -054. You may not
"lobby" the Bureau of Water Quality Management on behalf of
any person for this same period of time.
Conclusion: As of January 4, 1982, you have been a former
public employee subject to the restrictions vis -a -vis the
Bureau of Water Quality Management established by Section 3(e)
of the Ethics Act and discussed in this advice. Your conduct
should conform to,these requirements.
Pursuant to Section 7(9)(ii), this Advice is a complete
defense in any enforcement proceeding initiated by the
Commission, and evidence of good faith conduct in any other
civil or criminal proceeding, providing the requestor has
disclosed truthfully all the material facts and committed
the acts complained of in reliance on the Advice given.
This letter is a public record and will be made available
as such.
Finally, if you disagree with this Advice or if you
have any reason to challenge same, you may request that the
full Commission review this Advice. A personal appearance
before the Commission may be scheduled and a formal Opinion
from the Commission will be issued. You should make such a
request or indicate your disapproval of this Advice within
the next 30 days.
Sincerely,
ndra S. C
General Counsel
BF /rdp
cc: Edward J. Miller, Deputy Secretary for Adm